This is a DRAFT document issued for the purpose of ... · Handler means an egg handler as defined in Article 1, section 1320(11346.5. DRAFT . This is a DRAFT document issued for the

through 1326.2 Chapter

California Code of Regulations, to read as follows:

Certification and Accredited Certifiers.

6. Definitions.

Unless the context otherwise requires, the following definitions apply to

words in the singular form shall be deemed to impart the plural and vice versa,

may demand:

Accreditation means a determination made by the Department that

entity to conduct certification activities as a certifying agent under this

“Act” means the Prevention of Cruelty to Farm Animals Act, as

Safety Code, Chapter 13.8, section 25990 et seq.).

Area of operation means the types of covered animal production or

including egg laying hens and shell eggs or liquid eggs, or any combination

a certifying agent may be accredited to certify under this Chapter.

This is a DRAFT document issued for the purpose of increasing public participation and

improving the quality of regulations pursuant to Government Code Section 11346.45. This

is NOT a public notice of the initiation of rulemaking required by Government Code Section

11346.5.

DRAFT

DEPARTMENT OF FOOD AND AGRICULTURE

ANIMAL HEALTH AND FOOD SAFETY SERVICES

PROPOSED REGULATIONS – LIVESTOCK CONFINEMENT

The Department of Food and Agriculture, Animal Health and Food Safety Services

Division, proposes to adopt Article 5, Chapter 10 of Division 2 of Title 3 of the California

Code of Regulations, as specified below.

1) Adopt Article 5 and sections 1326 3 of 10 of Division 2 of Title

3 of the

Article 5.

Section 132

this Article

and as the

case

(a) “ ” authorizes

a private Chapter.

(b) amended

(Health and

(c) “ ” handling

operations, -

thereof that

(d) “Certification or certified” means a determination made by a certifying agent

that a production or handling operation is in compliance with the Act and the regulations

in this Chapter, which is documented by a certificate of California compliant operation.

(e) “Certified operation” means a production or handling operation, or portion of

such operation, that is certified by a certifying agent as utilizing a system of animal

confinement or handling as described by the Act and the regulations in this Chapter.

DRAFT December 23, 2019, Page 1 DRAFT

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regulations in this Chapter.

) “Covered animal” means any egg laying hen who is kept on a farm pursuant

25991 (f) and (i) of the Health and Safety Code for purposes of producing

products.

“Covered product” means all of the following:

eggs as defined in section 25991(p) of the Health and Safety Code

section 1320, of this Chapter.

Liquid eggs as defined in section 25991(l) of the Health and Safety Code

section 1320 of this Chapter.

Employee means any person providing paid or volunteer services for a

Governmental entity means any local, state or federal domestic government,

tribal government, or foreign governmental subdivision providing certification services.

Handler means an egg handler as defined in Article 1, section 1320(




11346.5.

(f) “Certifying agent” means any private entity accredited by the Department as a

third-party certifying agent for the purpose of certifying a production or handling operation

as a certified operation, or any government entity, including but not limited to the

Department, that provides certification services.

(g) “Certifying agent's operation” means all sites, facilities, personnel, and records

used by an accredited private certifying agent to conduct certification activities under the

(h - to

sections

covered

(i)

(1) Shell and

Article 1,

(2) and

Article 1,

(j) “ ” certifying

agent.

(k) “ ”

(l) “ ” g) of this

Chapter.

(m) “Handling operation” means any operation or portion of an operation that

conducts activities as a handler.

(n) “Immediate family” means the spouse, minor children, or blood relatives who

reside in the immediate household of a certifying agent or in the immediate household of

an employee, inspector, contractor, or other personnel of the certifying agent. For the

purpose of this Chapter, the interest of a spouse, minor child, or blood relative who is a

resident of the immediate household of a certifying agent or an employee, inspector,

contractor, or other personnel of the certifying agent shall be considered to be an interest

of the certifying agent or an employee, inspector, contractor, or other personnel of the

certifying agent.


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Inspector means any person retained or used by a certifying agent

of certification applicants or certified production or handling operations

representative of the Department.

Label means a display of written, printed, or graphic material on the

of a covered product or any such material affixed to any covered

bulk container containing a covered product, except for package

written, printed, or graphic material which contains only information

the product.

Labeling means all written, printed, or graphic material accompanying

any time or written, printed, or graphic material about the covered

at retail stores about the product.

Person means any individual, firm, partnership, joint venture, association,

corporation, corporation, estate, trust, receiver, or syndicate.

Private entity means any domestic or foreign nongovernmental for profit

profit organization providing certification services.




11346.5.

(o) “Inspection” means the act of examining and evaluating the production or handling

operation of an applicant for certification of a certified operation to determine compliance

with the Act and the regulations in this Chapter.

(p) “ ” to conduct

inspections , or an

for-

(u) “Producer” means an egg producer as defined in section 1320(i)

(v) “Records” means any information in written, visual, or electronic form that

documents the activities undertaken by a producer, handler, or certifying agent to comply

with the Act and regulations in this Chapter.

(w) “Responsibly connected” means any person who is a partner, officer, director,

holder, manager, or owner of 10 percent or more of the voting stock of an applicant or a

recipient of certification or accreditation.

(x) “Split operation” means an operation that produces or handles covered animals

and/or covered products from operations, or portions of an operation, that are both in

conformance and out-of-conformance with the confinement standards of the Act and this

authorized

(q) “ ” immediate

container product or

affixed to a liners or a

display of about the

weight of

(r) “ ” a covered

product at product

displayed

(s) “ ” limited

liability

(t) “ ” - or not-

Chapter.


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Note: Authority cited: Section 25993, Health and Safety Code. Reference: Section

and Safety Code.

1. General Requirements for Certification.

person seeking to receive or maintain certification under the regulations

:

(a) Comply with the Act and applicable regulations of this Chapter;

Allow on site inspections by the certifying agent, and authorized

representatives of the Department, with access to the production or handling operation

noncertified production and handling areas, and offices as provided

1326.2 and 1326.5;

a producer, allow access by the certifying agent, and authorized

representatives of the Department, to pastures, fields, equipment, structures, and houses

covered animals and covered animal products may be kept, produced, processed,

stored or transported, including the inspection of all enclosures for covered




11346.5.

(b)

including

sections

(c) If

where

handled,

animals.

(d) If a handler, allow access by the certifying agent, and authorized

A in this

-

,

for in

(y) “State” means for the purpose of this Article any of the several States of the United

States of America, its territories, the District of Columbia, and the Commonwealth of

Puerto Rico.

25991,

Health

Section 1326.

Chapter must

representatives of the Department, to examine all covered products that are sold or

intended, held, segregated, stored, packaged, labeled, or represented for sale or

distribution.

(e) Allow access by the certifying agent, and authorized representatives of the

Department, to containers, labels, labeling, invoices, and bills of lading used in the

handling, storage, packaging, sale, transportation or distribution of covered products.

(f) Allow access by the certifying agent, and authorized representatives of the

Department, during normal business hours for review and copying of records required by

section 1326.2;


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A certified operation must maintain records concerning the production

covered animals and/or covered products

(b) Such records shall:

(1) Be maintained by a producer in sufficient detail to document that covered

animals were confined in compliance with sections 25991 and 25992 of the Health

Safety Code and the requirements of this Chapter.

Be maintained by a handler in sufficient detail to document the identification,

supplier, transfer of ownership, transportation, storage, segregation,

distribution and sale of covered products that were derived from

compliance with sections 25991 and 25992 of the Health and Safety

and this Article.

) Be maintained for not less than two (2) years beyond their creation.

) Be sufficient to demonstrate compliance with the Act and the regulations

Include records of all covered animal and/or covered product transactions




11346.5.

(g) Immediately notify the certifying agent concerning any change in a certified

operation or any portion of a certified operation that may affect its compliance with the

Act and the regulations in this Chapter.

Note: Authority cited: Section 25993, Health and Safety Code. Reference: Section 25991,

Health and Safety Code.

Section 1326.2. Recordkeeping by Certified Operations.

(a) and

handling of

and

(2)

the preceding two-year period. The records shall indicate the date, quantity, and identity

of the purchaser and seller.

(6) Include documentation and records for the preceding two-year period

pertaining to the production, processing, handling, packaging, storage, transportation, or

sale of covered animals or covered products sold or intended for sale in California or

identified or represented as compliant with the confinement requirements of the Act and

this Chapter.

(7) Include documentation of the size of the certified operation, the quantity of

covered animals and/or covered products produced or processed from each facility or

source, handling,

packaging, animals

confined in Code

(3

(4 in this

Chapter.

(5) for


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Include documentation of registration issued by the Department pursuant

1320.2, 1321.2 and 1322.2, as applicable to the certified operation.

In addition to on site access at the registered facility location, the

of any records and documents required by this section, may be conducted

Department, or other certifying agent, by utilizing email, phone, teleconference,

combination thereof, at the discretion of the certifying agent or Department.

Authority cited: Section 25993, Health and Safety Code. Reference: Section

and Safety Code.

1326.3. Application for Certification.

A person seeking certification of a production or handling operation by

is a private entity or by the Department under this Article must

for certification that includes all the following information:

The name of the person completing the application; the applicant's

address, and telephone number; and, when the applicant is a corporation,




11346.5.

farm unit in the certified operation, the number of covered animal enclosures for each

facility or farm unit, the size of each enclosure, the number of covered animals housed in

each enclosure, and the dates of stocking, harvest and production.

(8) If the facility is a split operation, include documentation sufficient to

demonstrate the identification, segregation and handling of covered animals and/or

covered products to prevent commingling with any animals or products that do not comply

with requirements of the Act.

(9) to

sections

(c) - inspection

and audit by

the or any

Note: 25991,

Health

Section

a certifying

agent that submit an

application

(a) business

name, the

name, address, and telephone number of the person authorized to act on the applicant's

behalf.

(b) The name(s) of any certifying agent(s) to which application has previously been

made; the year(s) of application; the outcome of the application(s) submission, including,

when available, a copy of any notification of noncompliance or denial of certification

issued to the applicant for certification; and a description of the actions taken by the

applicant to correct the non-compliance noted in the notification of noncompliance,

including evidence of such correction.


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number of covered animals to be housed in each, and additional

deemed necessary by the certifying agent to determine compliance with the


A description of the management practices, physical barriers, and

operating procedures established to prevent commingling of covered animals

the facility is a split operation.

Notwithstanding the requirements of this section, if the certifying

government entity other than the Department, the procedures for application

certification established under the authority of that government entity may be


and Safety Code.

1326.4. Review of Application for Certification.

(a) Upon acceptance of an application for certification, a certifying agent

entity or the Department shall:




11346.5.

the

(e) standard

products if

(f) agent is a

Health

Section

(c) A description of the type and quantity of covered animals and/or covered

products to be produced and/or handled at the facility for which certification is being

requested.

(d) A description of the covered animal confinement system to be used at the

facility, including but not limited to the number of enclosures, size of enclosures and

maximum information

as Act and

or covered

for

followed.

25991,

that is a

private

(1) Review the application to ensure completeness pursuant to section 1326.3;

(2) Determine by a review of the application materials whether the applicant

appears to comply or may be able to comply with the applicable requirements of the Act

and this Chapter;

(3) Verify that an applicant who previously applied to another certifying agent and

received a notification of noncompliance or denial of certification, pursuant to section

1326.7, has submitted documentation to support the correction of any non-compliances

identified in the notification of noncompliance or denial of certification, as required in

section 1326.7(e); and

(4) Schedule an on-site inspection of the operation to determine whether the

applicant qualifies for certification if the review of application materials reveals that the


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The applicant may withdraw its application at any time. An applican

withdrew its application prior to the issuance of a notice of noncompliance

issued a notice of noncompliance. Similarly, an applicant that voluntarily withdrew

application prior to the issuance of a notice of certification denial will not be

certification denial.


and Safety Code.

1326.5. On site Inspections.

On site inspections. (1) A certifying agent must conduct an initial

of each production unit, facility, and site that produces or handles

covered products that is included in an operation for which certification

An on site inspection shall be conducted annually thereafter for each

that produces or handles covered animal or covered products for the




11346.5.

production or handling operation may be in compliance with the applicable requirements

of the Act and this Chapter.

(b) A certifying agent that is a private entity or the Department shall within a

reasonable time:

(1) Review the application materials received and communicate its findings to the

applicant.

(2) Provide the applicant with a copy of the on-site inspection report, as approved

by the certifying agent, for any on-site inspection performed.

(c) t that

voluntarily will

not be

its issued a

notice of

25991,

Health

Section -

(a) - on-site

inspection covered

animals or is

requested. - certified

operation purpose

of determining whether to approve the request for certification or whether the certification

of the operation should continue.

(2)(A) A certifying agent may conduct additional on-site inspections of applicants

for certification and certified operations to determine compliance with the Act and the


(B) The Department may require that additional inspections be performed by an

accredited private certifying agent for the purpose of determining compliance with the Act

and the regulations in this Chapter.


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inspection may be delayed for up to 6 months to comply with the requirement

inspection be conducted when the facilities and activities that

compliance or capacity to comply can be observed.

(2) All on site inspections must be conducted when an authorized representative

operation who is knowledgeable about the operation is present and at

and activities that demonstrate the operation's compliance with or

with the applicable provisions of the Act and this Chapter can be observed,

this requirement does not apply to unannounced on site inspections.

(c) Verification of information. The on site inspection of an operation

(1) The operation's compliance or capability to comply with the


(2) That the information provided in accordance with sections 1326.3

accurately reflects the practices used or to be used by the applicant for certification

certified operation.

(d) Exit interview. The inspector must conduct an exit interview with




11346.5.

(C) Additional inspections may be announced or unannounced at the discretion of

the certifying agent or as required by the Department.

(b) Scheduling. (1) The initial on-site inspection must be conducted within a

reasonable time following a determination that the applicant appears to comply or may

be able to comply with the requirements of the Act and this Chapter: Except, that, the

initial that

the demonstrate

-

of the a time when

facilities capability to

comply except

that -

- must verify:

Act and the

and 1326.8

or by

the

an authorized

representative of the operation who is knowledgeable about the inspected operation to

confirm the accuracy and completeness of inspection observations and information

gathered during the on-site inspection. The inspector must also address the need for any

additional information as well as any issues of concern.

(e) A copy of the on-site inspection report shall be sent to the inspected operation

by the certifying agent.




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operation are in compliance with the requirements of this Chapter, the agent

certification. The certification may include requirements for the correction

compliances within a specified time period as a condition of continued certification.

(b) When a certifying agent issues a certificate of California compliance

all the following:

(1) Name and address of the certified operation;

(2) Effective date of certification;

(3) Categories of operation, including whether the operation is a producer, handler

and the species of covered animals and/or types of covered products

or handled by the certified operation; and

(4) Name, address, and telephone number of the certifying agent.

(c) Notwithstanding subsection (a) of this section, the Department

certifications granted by another government entity using procedures established

authority of that government entity, provided such certification is based

verification of a certified operation’s compliance with the Act and applicable provisions




11346.5.

Section 1326.6. Granting Certification.

(a) Within a reasonable time after completion of the initial on-site inspection, a

certifying agent must review the on-site inspection report, and any additional information

requested from or supplied by the applicant. If the certifying agent determines that the

confinement or handling system and all procedures and activities of the applicant's

shall grant

of minor non-

it shall

specify

or both, produced

will accept

under

the on on-site

of

this Chapter by a process equivalent to that described in section 1326.5(a) of this Article,

and that the certificate specifies at a minimum the information described in paragraph (b)

of this section.



Section 1326.7. Denial of Certification.

(a) When the certifying agent has reason to believe, based on a review of the

information specified in sections 1326.2, 1326.3, 1326.4 or 1326.5, that an applicant for

certification is not able to comply or is not in compliance with the requirements of this

Chapter, the certifying agent shall provide a written notification of noncompliance to the


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(3) The date by which the applicant must rebut or correct each noncompliance

supporting documentation of each such correction when correction is possible.

(b) Upon receipt of such notification of noncompliance, the applicant may:

Correct non compliances and submit a description of the corrective

supporting documentation to the certifying agent;

Correct non compliances and submit a new application to another

Provided, That, the applicant must include a complete application, the

noncompliance received from the first certifying agent, and a description

actions taken with supporting documentation; or

Submit written information to the issuing certifying agent to

iance described in the notification of noncompliance.

(c) After issuance of a notification of noncompliance, the certifying agent

(1) Evaluate the applicant's corrective actions taken and supporting documentation

or the written rebuttal, conduct an on site inspection if necessary, and

When the corrective action or rebuttal is sufficient for the applicant




11346.5.

applicant. When correction of a noncompliance is not possible, a notification of

noncompliance and a notification of denial of certification may be combined in one

notification. The notification of noncompliance shall provide:

(1) A description of each noncompliance;

(2) The facts upon which the notification of noncompliance is based; and

and

submit

(1) - actions

taken with

(2) - certifying

agent: notification

of of the

corrective

(3) rebut the

noncompl

must:

submitted -

(A) to qualify

for certification, issue the applicant an approval of certification pursuant to section 1326.6;

or

(B) When the corrective action or rebuttal is not sufficient for the applicant to qualify

for certification, issue the applicant a written notice of denial of certification.

(2) Issue a written notice of denial of certification to an applicant who fails to

respond to the notification of noncompliance.

(3) Provide notice of approval or denial to the Department, pursuant to section

1326.10(a)(15).

(d) A notice of denial of certification must state the reason(s) for denial and the

applicant's right to:

(1) Reapply for certification pursuant to sections 1326.3 and 1326.8;


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time with any certifying agent, in accordance with sections 1326.3 and

applicant submits a new application to a certifying agent other than

issued the notification of noncompliance or notice of denial of certification,

for certification must include a copy of the notification of noncomp

denial of certification and a description of the actions taken, with

documentation, to correct the non compliances noted in the notification

noncompliance.

A certifying agent who receives a new application for certification,

notification of noncompliance or a notice of denial of certification,

application as a new application and begin a new application process pursuant

1326.3 and 1326.4.

Notwithstanding subsection (a) of this section, if a certifying agent

that an applicant for certification has willfully made a false statement

purposefully misrepresented the applicant's operation or its compliance

certification requirements pursuant to this part, the certifying agent




11346.5.

(2) Request mediation pursuant to section 1326.21; or

(3) File an appeal of the denial of certification pursuant to section 1326.23.

(e) An applicant for certification who has received a written notification of

noncompliance or a written notice of denial of certification may apply for certification again

at any 1326.8.

When such the agent

who the

applicant liance or

notice of supporting

- of

(f) which

includes a must treat

the to

sections

(g) has reason

to believe or

otherwise with

the may deny

certification pursuant to subsection (c)(1)(B) of this section without first issuing a

notification of noncompliance.



Section 1326.8. Continuation of Certification.

(a) To continue certification, a certified operation must annually submit the

following renewal information, as applicable, to the certifying agent:

(1) A summary statement, supported by documentation, detailing any deviations

from, or changes to, information submitted on the previous year's application, including

but not limited to any additions to or deletions from the information required pursuant to

section 1326.3;


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the certifying agent shall within a reasonable time arrange and conduct

inspection of the certified operation pursuant to section 1326.5: Except,

impossible for the certifying agent to conduct the annual on site inspection

the certified operation's annual update of information, the certifying

continuation of certification and issue an updated certificate of California compliance

basis of the information submitted and the most recent on site

conducted during the previous 12 months: Provided, That, the annual on site inspection,

pursuant to section 1326.5, is conducted within the first 6 months following

operation's scheduled date of annual update.

If the certifying agent has reason to believe, based on the on site

review of the information specified in section 1326.6, that a certified operation

complying with the requirements of the Act and the regulations in this Chapter

agent shall provide a written notification of noncompliance to the operation

accordance with section 1326.20.

If the certifying agent determines that the certified operation is




11346.5.

(2) An update on the correction of minor non-compliances previously identified by

the certifying agent as requiring correction for continued certification; and

(3) Other information as deemed necessary by the certifying agent to determine

compliance with the Act and the regulations in this Chapter.

(b) Following the receipt of the information specified in subsection (a) of this

section, an on-

site That, when

it is - following

receipt of agent may

allow

on the - inspection

-

required the

certified

(c) - inspection

and a is

not , the

certifying in

(d) complying with

the Act and the regulations in this Chapter and that any of the information specified on

the certificate of California compliance has changed, the certifying agent must issue an

updated certificate of California compliance pursuant to section 1326.7(b).



Section 1326.9. Areas and Duration of Accreditation.

(a) The Department may accredit a qualified domestic or foreign applicant to certify

a domestic or foreign production or handling operation as a certified operation.

(b) Accreditation shall be for a period of 5 years from the date of approval of

accreditation pursuant to section 1326.14.


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Notwithstanding any provision of this Chapter, the Department

certify a production or handling operation as a certified operation

determining an operation is in compliance with the provisions of the Act and this


and Safety Code.

1326.10. General Requirements for Accreditation of a Private Certifying

(a) A private entity accredited as a certifying agent under this Chapter

Have sufficient expertise in covered animal production and covered

techniques to fully comply with and implement the terms and conditions

ion program established under this Chapter;

) Carry out the provisions of the Act and the regulations in this Chapter

provisions of sections 1326.3 through 1326.8;

Use a sufficient number of adequately trained personnel, including inspectors

certification review personnel, to comply with and implement the certification




11346.5.

Chapter.

25991,

Health

Section Agent.

must:

(1) product

handling of the

certificat

(2 , including

the

(3)

(c) In lieu of accreditation under subsection (a) of this section, the Department will

accept a foreign certifying agent's accreditation to certify production or handling

operations if the Department determines, upon the request of a foreign government, that

the standards under which the foreign government authority accredited the foreign

certifying agent meet the requirements of this Chapter.

(d) may, at its

discretion, after

and program

established under this Chapter;

(4) Ensure that its responsibly connected persons, employees, and contractors

with inspection, analysis, and decision-making responsibilities have sufficient expertise in

covered animal production and covered product handling to successfully perform the

duties assigned.

(5) Provide sufficient information to persons seeking certification to enable them to

comply with the applicable requirements of the Act and the regulations in this Chapter;

(6) Maintain all records pursuant to section 1326.17(b) and make all such records

available for inspection and copying during normal business hours by authorized

representatives of the Department;


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responsibly party certifying agent

in the production or handling operation, including an immediate family int

provision of consulting services, within the 12 month period prior to the application

certification;

) Excluding any person, including contractors, with conflicts of interest from

discussions, and decisions in all stages of the certification process and the

certified production or handling operations for all entities in which such person

commercial interest, including an immediate family interest or the

consulting services, within the 12 month period prior to the application for certification;

) Not permitting any employee, inspector, contractor, or other

accept payment, gifts, or favors of any kind, other than prescribed fees, from

inspected: Except, That, a certifying agent that is a not for profit organization

Revenue Code tax exemption or, in the case of a foreign certifying

comparable recognition of not for profit status from its government, may accept

from certified operations;




11346.5.

(7) Maintain strict confidentiality with respect to its clients under the certification

program and not disclose to third parties (with the exception of the Department) any

business-related information concerning any client obtained while implementing the

regulations in this Chapter, except as provided for in section 1326.13(b)(5);

(8) Prevent conflicts of interest by:

(A) Not certifying a production or handling operation if the certifying agent or a

connected of such has or has held a commercial

interest erest or

the - for

(B work,

monitoring of

has or has

held a provision of

-

(C personnel to

any business

- - with an

Internal agent, a

- - voluntary

labor

(14) Refrain from making false or misleading claims about its accreditation status,

the accreditation program for certifying agents, or the nature or qualities of covered

products;

(15) Submit to the Department a copy of:

(A) Any notice of denial of certification issued pursuant to section 1326.7,

notification of noncompliance, notification of noncompliance correction, notification of

proposed suspension or revocation, and notification of suspension or revocation sent

pursuant to section 1326.20 simultaneously with its issuance; and

(B) A list, on January 2 of each year, including the name, address, and telephone

number of each operation granted certification during the preceding year;


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certification activities in the event that the certifying agent dissolves or

Provided, That, such transfer shall not apply to a merger, sale,

ownership of a certifying agent.

certifying agent under this Article shall exclude from participation in

of certification to any person due to discrimination because of race,

origin, gender, religion, age, disability, political beliefs, sexual orientation,

family status.

private entity seeking accreditation under this Article must sign and

agreement prepared by the Department which affirms that, if

as a certifying agent under this Chapter, the applicant will carry

the Act and the regulations in this Chapter, including but not limited

requirements of this section.


and Safety Code.




11346.5.

(b) A private entity accredited as a certifying agent must:

(1) Hold the Department harmless for any failure on the part of the certifying agent

to carry out the provisions of the Act and the regulations in this Chapter;

(2) Transfer to the Department all records or copies of records concerning the

person's loses its

accreditation; or other

transfer of

(c) No or deny

the benefits color,

national or

marital or

(d) A return a

statement of granted

accreditation out the

provisions of to all

applicable

25991,

Health

Section 1326.11. Applying for Accreditation as a Certifying Agent.

(a) A private entity seeking accreditation as a certifying agent under this subpart

must submit an application for accreditation which contains the applicable information and

documents set forth in sections 1326.12 and 1326.13 to the Department.

(b) Following the receipt of the information and documents, the Department will

determine, pursuant to sections 1326.12 and 1326.13, whether the applicant for

accreditation should be accredited as a certifying agent.




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(a) The business name, primary office location, mailing address,

person(s) responsible for the certifying agent's day to day operations, contac

(telephone, facsimile, email and Internet address) of the applicant, and,

is a private person, the entity's taxpayer identification number;

(b) The name, office location, mailing address, and contact numbers

facsimile, email and Internet address) for each of its organizational

Chapters or subsidiary offices, and the name of a contact person for each

(c) Each area of operation for which accreditation is requested and the

number of each type of operation anticipated to be certified annually

with a copy of the applicant's schedule of fees for all services to be

regulations by the applicant;

(d) The type of entity the applicant is (e.g., for profit business,

membership association) and documentation showing the entity's

organizational purpose, such as Articles of incorporation and by laws

membership provisions, and its date of establishment; and

who

(telephone,

units, such as

unit;

estimated

by the applicant

along provided under

these




11346.5.

Section 1326.12. Applicant Information.

A private entity seeking accreditation as a certifying agent must submit the

following information:

name of the

- - t numbers

for an applicant

- not-for-profit

status and

- or ownership or

(e) A list of each State or foreign country in which the applicant has previously

conducted certification services and a list of each State or foreign country in which the

applicant intends to certify production or handling operations pursuant to this Chapter.



Section 1326.13. Evidence of Expertise and Ability.

A private entity seeking accreditation as a certifying agent must submit to the

Department all of the following documents and information:

(a) Personnel (1) The name and position description of all personnel to be used in

the certification operation, including administrative staff, certification inspectors, members

of any certification review and evaluation committees, contractors, and all parties

responsibly connected to the certifying agent.


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Each person to be designated by the applicant to review or

for certification.

) A description of procedures, practices and training to ensure that its responsibly

persons, employees, and contractors with inspection, analysis, auditing

making responsibilities have sufficient expertise to successfully perform

assigned and to comply with and implement the requirements of the Act


Administrative policies and procedures. (1) A copy of the procedures to be

certification applicants, make certification decisions, and issue certification

copy of the procedures to be used for reviewing and investigating

compliance with the Act and the regulations in this Chapter and the

violations of the Act and the regulations in this Chapter to the Department;

copy of the procedures to be used for complying with the recordkeeping

requirements set forth in section 1326.10(a)(9);




11346.5.

(2) A description of the qualifications, including experience, training, and education

in auditing, inspection, covered animal production and/or covered product handling, or

other relevant areas of work for:

(A) Each inspector to be used by the applicant.

(B) evaluate

applications

(3

connected and

decision- the

duties and the

(b) used

to evaluate

certificates;

(2) A certified

operation reporting

of

(3) A

(4) A copy of the procedures to be used for maintaining the confidentiality of any

business-related information as set forth in 1326.10(a)(10);

(c) Conflicts of interest. (1) A copy of procedures to be implemented to prevent the

occurrence of conflicts of interest, as described in section 1326.10(a)(11).

(d) Current certification activities. An applicant who currently certifies production or

handling operations for livestock care, confinement, or welfare standards, either

equivalent to or different than those specified in the Act or the regulations of this Chapter,

for covered animals must submit: (1) A list of all production and handling operations

currently certified by the applicant;

(2) Copies of at least 3 different inspection reports and certification evaluation

documents for production or handling operations certified or approved by the applicant

during the previous year; and


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1326.14. Granting Accreditation.

(a) Accreditation will be granted when:

accreditation applicant has submitted the information required by sections

1326.13; and

Department determines that the applicant for accreditation meets

for accreditation as stated in section 1326.10, as determined by a review

information submitted in accordance with sections 1326.12 and 1326.13

review of the information obtained from a site evaluation as provided

6.

making a determination to approve an application for accreditation,

will notify the applicant of the granting of accreditation in writing, stating:

area(s) for which accreditation is given;

effective date of the accreditation;

terms and conditions for the correction of minor non compliances;




11346.5.

(3) The results of any accreditation process of the applicant's operation by an

accrediting body during the previous year for the purpose of evaluating its certification

activities.

(e) Other information. Any other information the applicant believes may assist in

the Department’s evaluation of the applicant's expertise and ability.



Section

(1) The

1326.12 and

(2) The the

requirements of

the and, if

necessary, a for in

section 1326.1

(b) On the

Department

(1) The

(2) The

(3) Any - and

(c) The accreditation of a certifying agent shall continue in effect until such time as

the certifying agent fails to renew accreditation as provided in section 1326.18(c), the

certifying agent voluntarily ceases its certification activities, or accreditation is suspended

or revoked pursuant to section 1326.22.




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(2) The facts upon which the notification of noncompliance is based;

(3) The date by which the applicant must rebut or correct each noncompliance

supporting documentation of each such correction when correction is possible.

(b) When each noncompliance has been resolved, the Department

applicant a written notification of noncompliance resolution and proceed

processing of the application.

(c) If an applicant fails to correct the non compliances, fails to report the

date specified in the notification of noncompliance, fails to file a

notification of noncompliance by the date specified, or is unsuccessful in its

Department will provide the applicant with written notification of accreditation

applicant who has received written notification of accreditation denial

accreditation again at any time in accordance with sections 1326.20 and

the denial of accreditation in accordance with section 1326.23

specified in the notification of accreditation denial.




11346.5.

Section 1326.15. Denial of Accreditation.

(a) If the Department has reason to believe, based on a review of the information

specified in sections 1326.12 and 1326.13 or after a site evaluation as specified in section

1326.16, that an applicant for accreditation is not able to comply or is not in compliance

with the requirements of the Act and the regulations in this Chapter, the Department shall

provide a written notification of noncompliance to the applicant. Such notification shall

provide:

and

and

submit

will send the

with further

- corrections

by the rebuttal of the

rebuttal, the

denial. An

may apply for

1326.22 or

appeal by the date

(d) If the certifying agent was accredited prior to the site evaluation and the

certifying agent fails to correct the non-compliances, fails to report the corrections by the

date specified in the notification of noncompliance, or fails to file a rebuttal of the

notification of noncompliance by the date specified, the Department will begin

proceedings to suspend or revoke the certifying agent's accreditation. A certifying agent

who has had its accreditation suspended may at any time, unless otherwise stated in the

notification of suspension, submit a request to the Department for reinstatement of its

accreditation. The request must be accompanied by evidence demonstrating correction

of each noncompliance and corrective actions taken to comply with and remain in


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Section 1326.16. Site Evaluations.

(a) Site evaluations of accredited certifying agents shall be conducted

purpose of examining the certifying agent's operations and evaluating its compliance

and the regulations of this Chapter. Site evaluations shall include an

certifying agent's certification procedures, decisions, facilities, administrative

management systems, and production or handling operations certified by

Site evaluations shall be conducted by a representative(s) of the Department

(b) An initial site evaluation of an accreditation applicant may, at the

Department, be conducted before or within a reasonable period of time

applicant's “notification of accreditation.” A site evaluation shall be conducted

application for renewal of accreditation but prior to the issuance of a notice

accreditation. One or more site evaluations will be conducted during

accreditation to determine whether an accredited certifying agent is complying

the Act on-site review

of the and

the certifying

agent. .

discretion of

the after issuance

of the after




11346.5.

compliance with the Act and the regulations in this Chapter. A certifying agent whose

accreditation is revoked will be ineligible for accreditation for a period of not less than 2

years following the date of such determination.



for the

with

of renewal of

the period of

with the

general requirements set forth in section 1326.10.

Section 1326.17. Annual Report, Recordkeeping, and Renewal of Accreditation.

(a) Annual report. An accredited certifying agent must submit annually to the

Department, on or before the anniversary date of the issuance of the notification of

accreditation, the following reports:

(1) A complete and accurate update of information submitted pursuant to sections

1326.12 and 1326.13;

(2) Information supporting any changes being requested in the areas of

accreditation described in section 1326.9;

(3) A description of the measures implemented in the previous year and any

measures to be implemented in the coming year to satisfy any terms and conditions


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years beyond receipt;

Records created by the certifying agent regarding applicants for certification

certified operations must be maintained for not less than 5 years beyond

and

Records created or received by the certifying agent pursuant

accreditation requirements of this Article, excluding any records covered

(b)(2), must be maintained for not less than 5 years beyond their creation

Renewal of accreditation. (1) The Department shall send the

agent a notice of pending expiration of accreditation approximately 1 year prior

scheduled date of expiration.

An accredited certifying agent's application for accreditation renewal

least 6 months prior to the fifth anniversary of issuance of the notification

accreditation and each subsequent renewal of accreditation. The accreditation

agents who make timely application for renewal of accreditation will




11346.5.

determined by the Department to be necessary, as specified in the most recent

notification of accreditation or notice of renewal of accreditation;

(b) Recordkeeping. Certifying agents must maintain records according to the

following schedule:

(1) Records obtained from applicants for certification and certified operations must

be maintained for not less than 5 their

(2)

and their

creation;

(3) to the

by

1326.17 or

receipt.

(c) accredited

certifying

to the

(2) must be

received at of

of

certifying not expire

during the renewal process. The accreditation of certifying agents who fail to make timely

application for renewal of accreditation will expire as scheduled unless renewed prior to

the scheduled expiration date. Certifying agents with an expired accreditation shall not

perform certification activities under the Act and the regulations of this Chapter.

(3) Following receipt of the information submitted by the certifying agent in

accordance with subsection (a) of this section and the results of a site evaluation, the

Department will determine whether the certifying agent remains in compliance with the

Act and the regulations of this Chapter and should have its accreditation renewed.

(d) Notice of renewal of accreditation. Upon a determination that the certifying

agent is in compliance with the Act and the regulations of this part, the Department will

issue a notice of renewal of accreditation. The notice of renewal will specify any terms


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(f) Amending accreditation. Amendment to scope of an accreditation

requested at any time. The application for amendment shall be sent to

shall contain information applicable to the requested change in accreditation,

complete and accurate update of the information submitted pursuant to sections

1326.13.



Section 1326.18. General Compliance.

(a) As a condition of certification and accreditation as a private certifying

Department may inspect and review certified production and handling

accredited certifying agents that are private entities for compliance


(b) The Department may initiate suspension or revocation proceedings

certified operation:




11346.5.

and conditions that must be addressed by the certifying agent and the time within which

those terms and conditions must be satisfied.

(e) Noncompliance. Upon a determination that the certifying agent is not in

compliance with the Act and the regulations of this Chapter, the Department will initiate

proceedings to suspend or revoke the certifying agent's accreditation.

may be

the Department

25991,

agent, the

operations and

with the Act or

against a

(1) When the Department has reason to believe that a certified operation has

violated or is not in compliance with the Act or regulations in this Chapter; or

(2) When a certifying agent fails to take appropriate action to enforce the Act or


(c) The Department may initiate suspension or revocation of a private certifying

agent's accreditation if the certifying agent that is a private entity fails to meet, conduct,

or maintain accreditation requirements pursuant to the Act or this Chapter.

(d) Each notification of noncompliance, rejection of mediation, noncompliance

resolution, proposed suspension or revocation, and suspension or revocation issued

pursuant to sections 1326.20, 1326.21, and 1326.22 and each response to such

and and a

1326.12

and


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certifying agent may investigate complaints of noncompliance with

of this Chapter concerning production and handling operations certified

compliant by the certifying agent. A certifying agent that is a private

Department of all compliance proceedings and actions taken pursuant

: Authority cited: Section 25993, Health and Safety Code. Reference: Section

and Safety Code.

1326.20. Noncompliance Procedure for Certified Operations.

Notification. When an inspection, review, or investigation of a certified

certifying agent reveals any noncompliance with the Act or regulations

written notification of noncompliance shall be sent to the certified

ication shall provide:


(2) The facts which the notification of noncompliance is based;




11346.5.

notification must be sent to the recipient's place of business via a delivery service which

provides dated return receipts.



Section 1326.19. Investigation of Certified Operations.

A the Act or

regulations as

California entity must

notify the to this

Chapter.

Note 25991,

Health

Section

(a) operation

by a in this

Chapter, a operation.

Such notif

upon and

(3) The date by which the certified operation must rebut or correct each

noncompliance and submit supporting documentation of each such correction when

correction is possible.

(b) Resolution. When a certified operation demonstrates that each noncompliance

has been resolved, the certifying agent shall send the certified operation a written

notification of noncompliance resolution.

(c) Proposed suspension or revocation. When rebuttal is unsuccessful or

correction of the noncompliance is not completed within the prescribed time period, the

certifying agent shall send the certified operation a written notification of proposed

suspension or revocation of certification of the entire operation or a portion of the


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The right to request mediation pursuant to section 1326.21 or to file

to section 1326.23.

Willful violations. Notwithstanding subsection (a) of this section, if

has reason to believe that a certified operation has willfully violated

regulations in this Chapter, the certifying agent shall send the certified

fication of proposed suspension or revocation of certification of the entire

of the operation, as applicable to the noncompliance.

Suspension or revocation. (1) If the certified operation fails to

noncompliance, to resolve the issue through rebuttal or mediation, or to file

proposed suspension or revocation of certification, the certifying agent shall

operation a written notification of suspension or revocation.

(2) A certifying agent must not send a notification of suspension or revocation

operation that has requested mediation pursuant to section 1326.2

appeal pursuant to section 1326.23, while final resolution of either is pending.

Eligibility. (1) A certified operation whose certification has been




11346.5.

operation, as applicable to the noncompliance. When correction of a noncompliance is

not possible, the notification of noncompliance and the proposed suspension or

revocation of certification may be combined in one notification. The notification of

proposed suspension or revocation of certification shall state:

(1) The reasons for the proposed suspension or revocation;

(2) The proposed effective date of such suspension or revocation;

(3) The impact of a suspension or revocation on future eligibility for certification;

and

(4) an appeal

pursuant

(d) a certifying

agent the Act or

operation a

noti operation or

a portion

(e) correct the

an appeal of

the send the

certified

to a

certified 1 or filed an

(f) suspended

under this section may at any time, unless otherwise stated in the notification of

suspension, submit a request to the Department for reinstatement of its certification. The

request must be accompanied by evidence demonstrating correction of each

noncompliance and corrective actions taken to comply with and remain in compliance

with the Act and the regulations in this Chapter.

(2) A certified operation or a person responsibly connected with an operation

whose certification has been revoked will be ineligible to receive certification for a period

of 3 years following the date of such revocation, Except, that, the Department may, when


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and Safety Code.

1326.21. Mediation.

Any dispute with respect to denial of certification or proposed suspension

of certification under this Article part may be mediated at the request

for certification or certified operation and with acceptance by the

Mediation shall be requested in writing to the applicable certifying agent.

agent rejects the request for mediation, the certifying agent shall provide

to the applicant for certification or certified operation. The written

advise the applicant for certification or certified operation of the right to

appeal, pursuant to section 1326.23, within 30 days of the date of the written

rejection of the request for mediation. If mediation is accepted by the certifying

mediation shall be conducted by a qualified mediator mutually agreed upon




11346.5.

in the best interest of the certification program, reduce or eliminate the period of

ineligibility.

(g) Notwithstanding subsections (a) through (e) of this section, if the certifying

agent is a government entity other than the Department, the noncompliance procedures

for certified operations established under the authority of that government entity may be

followed.

25991,

Health

Section

(a) or

revocation of the

applicant certifying

agent. If the

certifying written

notification notification

shall request an

notification

of agent,

such by the

parties to the mediation. If the certifying agent is a government entity, the mediation

procedures established under the authority of that government entity may be followed.

(b) The parties to the mediation shall have no more than 30 days to reach an

agreement following a mediation session. If mediation is unsuccessful, the applicant for

certification or certified operation shall have 30 days from termination of mediation to

appeal the certifying agent's decision pursuant to section 1326.23. Any agreement

reached during or as a result of the mediation process shall be in compliance with the Act

and the regulations in this Chapter. The Department may review any mediated agreement

for conformity to the Act and the regulations in this Chapter and may reject any agreement

or provision not in conformance with the Act or the regulations in this Chapter.


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(3) The date by which the certifying agent must rebut or

noncompliance and submit supporting documentation of each correction when

is possible.

(b) Resolution. When the certifying agent demonstrates that each noncompliance

been resolved, the Department shall send the certifying agent a written

noncompliance resolution.

(c) Proposed suspension or revocation. When rebuttal is unsuccessful

correction of the noncompliance is not completed within the prescribed time

Department shall send a written notification of proposed suspension or

accreditation to the certifying agent. The notification of proposed suspension

revocation shall state whether the certifying agent's accreditation or specified

accreditation are to be suspended or revoked. When correction of a noncompliance

the notification of noncompliance and the proposed suspension

combined in one notification. The notification of proposed suspension

revocation of accreditation shall state:




11346.5.

Section 1326.22. Noncompliance Procedure for Certifying Agents.

(a) Notification. When an inspection, review, or investigation of an accredited

certifying agent by the Department reveals any noncompliance with the Act or regulations

in this Chapter, a written notification of noncompliance shall be sent to the certifying agent.

Such notification shall provide:


(2) The facts upon which the notification of noncompliance is based; and

correct each

correction

has notification of

or

period, the

revocation of

or

areas of

is not

possible, or revocation

may be or

(1) The reasons for the proposed suspension or revocation;

(2) The proposed effective date of the suspension or revocation;

(3) The impact of a suspension or revocation on future eligibility for accreditation;

and

(4) The right to file an appeal pursuant to section 1326.23.

(d) Willful violations. Notwithstanding paragraph (a) of this section, if the

Department has reason to believe that a certifying agent has willfully violated the Act or

regulations in this part, the Department shall send a written notification of proposed

suspension or revocation of accreditation to the certifying agent.


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(1) Cease all certification activities in each area of accreditation and in

for which its accreditation is suspended or revoked.

(2) Transfer to the Department all records concerning its certification activities that

were suspended or revoked.

Eligibility. (1) A certifying agent whose accreditation is suspended

Department under this section may at any time, unless otherwise stated in the

suspension, submit a request to the Department for reinstatement of its accreditation.

request must be accompanied by evidence demonstrating correction

ance and corrective actions taken to comply with and remain in compliance

Act and the regulations in this Chapter.

A certifying agent whose accreditation is revoked by the Department

to be accredited as a certifying agent under the Act and the regulations

period of not less than 3 years following the date of such revocation.


and Safety Code.




11346.5.

(e) Suspension or revocation. When the accredited certifying agent fails to file an

appeal of the proposed suspension or revocation of accreditation, the Department shall

send a written notice of suspension or revocation of accreditation to the certifying agent.

(f) Cessation of certification activities. A certifying agent whose accreditation is

suspended or revoked must:

each State

(g) by the

notification

of

The of each

noncompli

with the

(2) shall be

ineligible in this

part for a

25991,

Health

Section 1326.23. Adverse Determination Appeal Process.

(a) An applicant for certification may appeal a certifying agent's notice of denial of

certification, and a certified operation may appeal a certifying agent's noncompliance

decision or notification of proposed suspension or revocation of certification, to the

Department by requesting an informal hearing as outlined in this section; Except, that

when the certifying agent is a government entity, the appeal must be made to that

government entity which will carry out the appeal procedures established under the

authority of that government entity.


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as outlined in this section.

Informal hearing requests shall be submitted by written correspondence

Department of Food and Agriculture, Legal Office of Hearings and

Street, Suite 315, Sacramento, California 95814 within 30 days from

of the Department’s notice of adverse determination.

Any request for an informal hearing shall include a copy of the notice

determination and may state the grounds for the appeal.

Any objection to the Department’s selection of the informal hearing

made in writing to the Legal Office of Hearings and Appeals and shall be

Hearing Officer prior to the hearing pursuant to Government Code

Failure to submit a timely request for a hearing constitutes a waiver

respondent's right to contest the notice of an adverse determination. Untimely

hearing may be denied by the Department.

The Department shall schedule informal hearing within 30 days




11346.5.

(b) An applicant for accreditation and an accredited certifying agent may appeal

the Department’s denial of accreditation or proposed suspension or revocation of

accreditation by requesting an informal hearing as outlined in this section.

(c) A respondent, or his or her duly authorized representative, may contest a notice

of adverse determination from the Department under this Article by requesting an informal

hearing

(d) to the

California Appeals,

1220 “N” the date of

receipt

(e) of adverse

(f) procedure

shall be resolved

by the section

11445.30.

(g) of the

requests

for a

(h) an from the

receipt of the request from the respondent.

(i) At least 10 business days prior to the informal hearing, the Department shall

provide a notice of the informal hearing to the respondent containing all of the following

information:

(1) Date, location, and time of the informal hearing;

(2) Departmental contact information including applicable telephone and facsimile

numbers; and

(3) Subject matter of the adverse determination.

(j) The notice of an informal hearing shall be sent to the address of the person

charged as provided by any application, license, registration, certification, or permit on


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Any documents to be considered by the hearing officer shall be received

business days prior to the scheduled informal hearing at the Legal

and Appeals. Any documents not timely submitted may be considered

of the Hearing Officer.

The informal hearing shall be presided over and conducted by a hearing

designated by the Secretary.

The standard of proof to be applied by the hearing officer

preponderance of the evidence unless statutes or regulations applicable

determination provide a higher standard.

A teleconference line shall be made available at every hearing.

Hearings shall be recorded by the Department. A transcript of the recording

electronic copy of the recording shall be provided to any interested party upon

The decision of the hearing officer shall be in writing, issued within

conclusion of the hearing, and shall be effective immediately upon issuance.




11346.5.

record with the Department and/or as provided by a driver’s license record obtained from

the Department of Motor Vehicles.

(k) A notice that is sent pursuant to subsection (j) shall be considered effective

even if delivery is refused or if the notice is not accepted at that address.

(l) at least

three Office of

Hearings at the

discretion

(m) officer

(n) shall be

to the

(o)

(p) or

an written

request.

(q) 30 days

after the

(r) The respondent may appeal the hearing officer's decision and order by filing a

petition for a writ of administrative mandamus in accordance with the Code of Civil

Procedure section 1094.5.

Note: Authority cited: Section 25993, Health and Safety Code, and section 11400.20,

Government Code. Reference: Article 10 (commencing with section 11445.10), Chapter

4.5 (commencing with section 11400); and Chapter 5 (commencing with section 11500),

Part 1, Division 3, Title 2, Government Code.


https://11445.10

https://11400.20

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Documents

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